Compliance Supervisor

POSITION SUMMARY

 

The Compliance Supervisor is responsible for providing outstanding customer service to clients through the daily supervision of a team of employees, to include hiring, motivating, recognizing, rewarding, coaching, counseling, training, and problem solving. The position ensures that the clients of assigned accounts receive quality customer service in accordance with the service level agreements as well as ACB policies and procedures. This highly visible position maintains close client contact and oversees all matters related to customer service and production of all assigned accounts.

 

ESSENTIAL RESPONSIBILITIES

 

• Serve as the primary client contact for assigned accounts. Ensure that client and ACB goals are being met with regard to production and service.

 

• Receive, research, and resolve client questions and complaints. Review and identify potential client-related issues and proactively offer potential solutions.

 

• Attend and participate in on-site client meetings; visit clients off-site as requested. Work with the Account Manager to coordinate client training on processes and systems.

 

• Ensure that compliance reviews, dealer reported violations, and prior approvals that are conducted comply with ACB and client policies, program guidelines, and turnaround commitments. Review employees work to ensure quality and accuracy. Provide continual evaluation of processes and procedures. Create and maintain new processes and procedures as the business dictates. Responsible for suggesting methods to improve area operations, efficiency, and service to the Account Manager.

 

• Maintain client program information, audit codes, account binders, and ensure that information is accessible to all team members.

 

• Schedule production and work assignments to team members.

 

• Conduct selection interviews and assist in hiring of team members. Oversee new employee training and orientation.

 

• Communicate information regarding review status, turnaround time, client status, and/or issues to the Account Manager as needed

 

• Ensure that employees have appropriate training and other resources to perform their jobs. Establish and coordinate on-going staff training and development to increase performance levels and to improve customer service.

 

• Provide daily direction and communication to team members so clients receive timely and efficient service.

 

• Meet with team members on a regular basis to establish goals and review job performance. Provide feedback and counseling related to work performance. Write and administer performance appraisals for skill improvement. Make promotional and salary increase recommendations to the Compliance Manager.

 

 

• Address disciplinary and/or performance problems according to company policy. Make appropriate decisions relative to corrective action as required. Prepare and administer disciplinary action in conjunction with HR as necessary.

 

• Respond to and resolve employee relation issues expressed by team members. Create and maintain a high-quality work environment so team members are motivated to perform at their highest level and to continue working for the company. Evaluate, identify and address reasons for employee turnover within work group.

 

• Complete bi-weekly payroll, monitor employee time, and provide approval/denial of employee time off requests.

 

• Oversee report quality, accuracy and data integrity. Create and produce ad hoc client reports upon request.

 

• Assist in administering client projects related to current business, special programs or new client application. Conduct application testing in development and production environments for existing application changes as well as new application tools.